Daniel D. Hickey

SHELTER ROCK MANAGEMENT

Bronx, NY

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CRD#: 2076001

Professional summary

Daniel Daly Hickey, who also goes by Daniel D Hickey, is a registered financial advisor currently at SHELTER ROCK MANAGEMENT, LLC located in Bronx, New York.

Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Daniel has worked at 5 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Daniel D Hickey

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Mr. Hickey has been an independent contractor licensed real estate salesperson for Houlihan Lawrence - located at 800 Westchester Avenue, Suite N-505, Rye Brook, NY, since 2015. He will receive separate, yet customary, commission compensation from this activity, to which he devotes approximately 95% during trading hours. (Please see additional disclosures under "Other Business Activities" below.)

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Daly Hickey's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 6, 2022 - Present

SHELTER ROCK MANAGEMENT, LLC

RIA

CRD#: 142739

Bronx, NY

Past

April 15, 2022 - October 31, 2022

STEPPING STONES MANAGEMENT, LLC

RIA

CRD#: 138170

NEW YORK, NY

Past

July 30, 2003 - September 11, 2008

THOMAS GROUP CAPITAL

CRD#: 112901

RYE, NY

Past

May 16, 1997 - July 23, 2003

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

December 13, 1993 - May 30, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 20, 1990 - January 15, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SHELTER ROCK MANAGEMENT, LLC

43C ADVISORY, LLC | SHELTER ROCK MANAGEMENT, LLC

CRD#: 142739 / SEC#: 801-77651

RIA

Registered Investment Advisory firm - (2/19/2013 Approved)

California

Registered Investment Advisory firm - (3/29/2013 Terminated)

Massachusetts

Registered Investment Advisory firm - (11/29/2010 Terminated)

Missouri

Registered Investment Advisory firm - (2/27/2013 Terminated)

New York

Registered Investment Advisory firm - (2/27/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(10/6/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/11/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/27/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/19/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/4/2003

General Securities Principal Examination

Current Firm

SHELTER ROCK MANAGEMENT, LLC

43C ADVISORY, LLC | SHELTER ROCK MANAGEMENT, LLC

CRD#: 142739 / SEC#: 801-77651

RIA

Registered Investment Advisory firm - (2/19/2013 Approved)

California

Registered Investment Advisory firm - (3/29/2013 Terminated)

Massachusetts

Registered Investment Advisory firm - (11/29/2010 Terminated)

Missouri

Registered Investment Advisory firm - (2/27/2013 Terminated)

New York

Registered Investment Advisory firm - (2/27/2013 Terminated)

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Contact information

Main Address

375 North Broadway Suite 207, Jericho, NY 11753

Mailing Address

Phone number

(516) 605-2215

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SHELTER ROCK MANAGEMENT, LLC ADV PART 2A BROCHURE (7/17/2025)

Regulatory assets under management

Total Number of Accounts	278
AUM (Assets Under Management)	$ 206,212,472

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Daniel D. Hickey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Daly Hickey's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEPPING STONES MANAGEMENT, LLC

THOMAS GROUP CAPITAL

A. G. EDWARDS & SONS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

SHELTER ROCK MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/11/2022

Series 63

Date: 7/27/1990

Series 7

Date: 7/19/1990

Series 24

Date: 11/4/2003

Current Firm

SHELTER ROCK MANAGEMENT, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SHELTER ROCK MANAGEMENT, LLC

TRUST BUT VERIFY

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